Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Grabs $120M Team From Merrill
By Janet LevauxThe two female financial advisors go independent with the firm in Utah.
July 01, 2015
SEC: Ex-Broker Sold Clients Fake CDs With 12% InterestFormer advisor Malcolm Segal is accused of a $15.5 million Ponzi scheme involving bank CDs some real and some nonexistent.
June 30, 2015
Merrill Adds $750M Ex-Barclays Group in HoustonThe group was part of Lehman Brothers until 2008.
June 29, 2015
LPL Names Former E-Trade Exec CFOLPL Financial has hired former E-Trade Chief Financial Officer Matthew Audette as its new CFO. Audette will report directly to LPL Chairman and CEO Mark…
June 29, 2015
Deutsche Bank $3 billion wealth team leaving to start own firmThe group is joining a stream of brokers that have left big banks and brokerages to start up their own firms.
June 29, 2015
Dynasty Adds $3B Ex-Deutsche TeamThe San Francisco-based group comes on board as an RIA serving entrepreneurs in Silicon Valley.
June 29, 2015
Lincoln Financial Securities Chief DepartsChris Flint is being temporarily replaced as head of Lincoln Financial Securities by Tom Eusebio and Stafford Moser.
June 23, 2015
Is today’s healthcare system like organized crime?An actuary asks a number of critical questions about today's healthcare system.